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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2015-04-07
CA RA APPROVED 2012-04-10
  • TX RA
    APPROVED_RES
    Since 2015-04-07
  • CA RA
    APPROVED
    Since 2012-04-10

Branch Locations

5951 La Sendita, Rancho Santa Fe, CA 92067 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch,Pierce, Fenner & Smith, Inc. Rancho Santa Fe CA 03/2012 Present
Bank Of America, N.A. Rancho Santa Fe CA 05/2012 Present
  • 03/2012 → Present
    Merrill Lynch,Pierce, Fenner & Smith, Inc.
    Rancho Santa Fe, CA
  • 05/2012 → Present
    Bank Of America, N.A.
    Rancho Santa Fe, CA
Previous Registrations
Other Businesses

I*127445 For profit or not for profit: For-Profit Organization Name of outside business organization: Tessitura Ventures Investment related: N Address of business: Del Mar, California 92014 Nature of business: Sole Proprietorship, Position, title, association: Owner, Start date of relationship: 10/19/2019 Number of hours devoted: 10 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Arts, media and intellectual rights holding entity. My role is to monitor and approve the rights usage and their application

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-11-01
  • S66 Uniform Combined State Law Examination
    2001-11-01
Other Names
  • Russel J Upton
  • Rssel James Upton
  • Russel James Upton
  • Russ Upton
  • Russel James Upton

View on SEC IAPD

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